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KEKER & VAN NEST, LLP
JOHN W. KEKER - #49092
MICHAEL H. PAGE - #154913
710 Sansome Street
San Francisco, CA 941 1 1-1704
Telephone: (415)391-5400
Facsimile: (415)397-7188

INTERTRUST TECHNOLOGIES CORPORATION
DOUGLAS K. DERWIN - #1 1 1407
MARK SCADINA - #173103
JEFF MCDOW- #184727
4800 Patrick Hrauy Drive
Santa Clara, CA 95054
8 II Telephone: (408)855-0100
Facsimile: (408) 855-0144

Attorneys for Plaintiff and Coimter-Defendant
INTERTRUST TECHNOLOGIES CORPORATION

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I MICROSOFT CORPORATION, a
19 I Washington corporation.

UNTTHD STATES DISTRICT COURT
NORTHERN DISTRICT OF CALIFORNIA

INTERTRUST TECHNOLOGIES
I CORPORATION, a Delaware corporation.

Plaintiff,

Defendant.

AND COUNTER ACTION.

Case No. C 01-1640 SBA (MET)

Consolidated with C 02-0647 SBA

INTERTRUST'S PATENT LOCAL RULE
4-2 PRELIMINARY CLAIM
CONSTRUCTIONS AND
IDENTIFICATION OF EVIDENCE

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24 II I. PatL.R. 4-2(a) Preliminary Claim Constructions

25 II The'folloviahg constitute MCTTnist's proposed def^

26 II the parties' Rule 4-1 disclosures. LiterTrust reserves the right to modify these definitions in light

27 11 of definitions, evidence or argum^ts propounded by Microsoft.

28 II C^itaUzed terms occurring in definitions represent separately-defined terms and should

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IDENnnCATION OF EVIDENCE
CASE NO. C 01 - 1 640 SBA (MEJ). CONSOLIDATED WITH C 02-0647 SBA

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be given the same meaning as in the separate deiSnition.

The desijgnation of a definition as "nonnal English" means that InterTrust believes the
defined tenn should have its normal English meaning, with no definition being necessary.
Submission of a definition in such cases does not constitute a waiver of InterTrust' s right to
contend that no such definition is necessary.

These temis are defined for the claims specified in the definition. InterTrust reserves the
right to assert that these terms should be intetpreted differently in contexts other than those
specified.

Reference citations are to "extrinsic evidence" listed in Section n of this document.
Unless otherwise noted, the references constitute dictionaries and the citations are to definitions
of the designated t&mns in such dictionaries.
A. Individual Claim Terms.

Access. (193.15, 193.19, 912.8, 912.35, 861,58, 683.2, 721.34)*
To obtain something so it can be used.
References: 1,2,6.
Addressing (861.58)

Refexiing to a location where information is stored.
Reference: 3.

Allowing, allows (912.35, 193.1, 193.11, 193.15, 193.19)

Normal English: permitting, permits; letting happen, lets lumpen.

Reference: 4.

Applying in combination (683.2)

Using more than one Rule to Govern a Secure Container Govemed Item.

Arrangement (721.34)

Normal English: a collection of things that have been arranged. In context, the —
term can apply to an organization of hardware and/or software and/or data.

Reference: 4.

^ Patent and Claim numbers are denoted herein in the format ^^xxx.yy"*, where **xxx" is the last
28 three digits of the patent number and "YY" is the claim nxunber.

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INTERTRUST'S PATENT LOCAL RULE 4-2 PRELIMINARY CLAIM CONSTRUCTIONS AND

IDENTIFICATION OF EVIDENCE
CASE NO. C 01-1640 SBA (MEJ), CONSOLIDATED WITH C 02-0647 SBA

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Aspect (900.155, 912.8, 861.58, 683.2)

Feature, element, property or state.
Associated With (912.8. 193.1, 193.11, 193.15, 683.2)

Having a relationship with.

Anthentication (193.15)

In context. Identifying (e.g., a person, device, organization, document, file, etc.).
Includes uniquely identifying or identifying as a memb^ of a group.

Authorization Information/Authorize/Not Authorize (193.15, 193.19)

Authorize: ,

Normal English: permit.

References: 4.

Authorization Information:

In context: Information (e.g., a key) received if an action is Authorized.
See Specific Information for the definition of Information.

Budget (193.1)

Information specifymg a limitation on usage. See Specific hifotmation for the
definition of Information.

Reference: 4.

Budget control (193.1)

The term is explicitly defined in the claim as a Control "including a budget
specifying the number of copies which can be made of said digital file."

Can be (193.1)

Normal English: the specified act is able or authorized to be carried out In
context, this means the number of copies allowed to be made.

Reference: 4.
Capacity (683.2)

Normal English: "ability," or "capability."

Reference: 4. _

Clearingbonse (193.19)

A provider of financial and/or administrative services for a number of users; or an
entity responsible for the collection, maintenance, and/or distribution of materials,

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roENTIFICATION OF EVIDENCE
CASE NO. C 01-1640 SBA (MEJ), CONSOLIDATED WITH C 02-0647 SBA

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infonnation, licenses, etc.
Compares/Comparison (900.155)
Normal English:

Compares: examines for the purpose of noting similarities and differences.
Reference: 4.

Comparison: the act of comparing.

Reference: 4.

Component Assembly (912.8, 912.35)

Components are code and/or data elements that are independently deliverable. A
Component Assembly is two or more components associated together.
Component Assembhes are executed to perform operating system or qiplications
tasks.

Contained/Contain/Containuig (683.2, 912.8, 912.35)

Normal English: to have within or to hold. In the context of an element
contained within a data structure (e.g., a secure container), the contained element
may be either directly within the container or the container may hold a reference
indicating . where the element may be found.

Reference: 4.

Control (n) (193.1, 193.11, 193.15, 193.19, 891.1)

hiformation and/or programming Governing operations on or use of Resources
(e.g., content) including (a) pemiitted, required or prevented operations, (b) the
nature or extent of such operations or (c) the consequences of such operations.

Control (v)/Controiling (861.58, 193.1)

Normal English: to exercise authoritative or dominating influence over; direct.

Reference: 4,

_XLopiedfiIe(J93ai).

A Digital File that has been Copied.

Copy, copied, copying (193.1. 193.11, 193.15, 193.19)

Reproduce, rq)roduced, reproducing. The reproduction may incorporate all of the
original item, or only some of it, and may involve some changes to tiiie item as
long as the essential nature of the content remains imchanged.

References: 1,4,6.

INTERTRUST'S PATENT LOCAL RULE 4-2 PRELIMINARY CLAIM CONSTRUCTIONS AND

IDENTIFICATION OF EVIDENCE
CASE NO. C 01-1640 SBA (MEJ), CONSOLIDATED WITH C 02-0647 SBA

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Copy control (193.1)

A Control used to determine whether a Digital File may be Copied and the Copiec .
Digital File stored on a second device.

Creating/Creation (861.58)

Normal English: Creating means producing; Creation means the act of creating.

Reference: 4.
Data item (891.1)

A unit of digital information.

References: 2,3.

Derive/Derives (900.155)

Nonnal English: obtain, receive or arrive at through a process of reasotiing or
deduction. In the context of computer operations, the ^'process of reasoning or
deduction" constitutes operations carried out by the computer.

Reference: 4,

Descriptive Data Structure (861 .58)

Machine-readable description of the layout and/or contents of a rigjits
management data structure (e.g,, a Seciure Container).

Designatiug (721.1)

Normal English: indicating, specifying, pointing out or characterizing.

Reference: 4.
Device Qass (721.1)

A group of devices which share at least one attribute.
Digital File (193.1, 193.11, 193.15, 193.19)

A named collection of digital information.

Reference: 3 (definition of "file").

DigitaUy signing/digital signature (721.1)

Digital signature: A digital value, verifiable with a Key, that can be used to
determine the source and/or mtegrity of a signed item (e.g., a file, program, etc.).

Digitally signing is the process of creating a digital signature.

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IDENTinCATlON OF EVIDENCE
CASE NO. C 01-1640 SBA (MEJ), CONSOLIDATED WITH C 02-0647 SBA

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Entity/Entity's control (891.1)

^ntity: A person or organization.

Entity's Control: Control belonging to or coming torn an Entity.

Environment (912.35, 900.155, 891.1, 683.2, 721.34)

Capabilities available to a program running on a computer or other device or to
the user of a computer or other device. Depending on the context, the
environment may be in a single device (e.g,, a personal computer) or may be
spread among multiple devices (e.g., a netwoiic).

References: 6.

Executable Programming/Executable (912.8, 912.35, 721.34)

A computer program that can be run, directly or through interpretation.
Reference: 3.

Execution space (912.8)

Resource which can be used for execution of a program or process.

Execution space identifier (912.8)

Information Identifying an Execution Spiace. See Specific Information for
definition of Information.

Generates/Generating (900.155, 861.58)

Normal English: creates/creating or produces/producing.

Reference: 4.

Govern/Governed/Governed Item (891.1, 683.2)

To Govern: to control an item or operation in accordance with criteria established
by the holder of one or more rights relating to the item or operation or a party
authorized to establish sxich criteria.

Governed Item: an item that is Governed,

Reference: 4.

"Halting (900.155)

Normal English: suspending.

Reference:-4^ — - - — - ■ "

Host Processing Environment (900.155)

This term is explicitly defined in the claim and therefore needs no additional

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definition. It consists ofthose elements listed in the claim.

Without waiving its position that no separate definition is required, if required to
propose such a definition, InterTrust proposes the following: a Protected
Processing Environment incorporating software-based Security.

Identifier (193.15, 912.8)

Information used to Identify something or someone (e.g., a password).

Identify/identifymg (193.11, 912.8, 912.35, 861.58)

Nonnal English: To establish/establishing the identity of or to
ascertain/ascertaining the origin, nature, or definitive characteristics of.

Reference: 4.

Including (912.8, 912.35, 900.155, 861.58, 193,1, 193.11, 193.15, 193.19, 891.1, 683.2)

Nonnal English: depending on the context, this means containing as a secondary
or subordinate element, or considering with or placing into a group, class, or total.

Reference: 4.

Information previously stored (900.155)

Nonnal English: Information stored at an earlier time. See Specific Information
for the definition of Information.

Integrity programming (900. 155)

This term is fiilly defined in the claim, which specifies the steps the integrity
programming must perfonn. Integrity prograniming is progranmiing fliat
performs the recited steps. The term therefore needs no additional definition.

Without waiving its position that no separate definition is required, if required to
propose such a definition, InterTrust proposes the following: programming that
checks the integrity of a Host Processing Enviromnent.

Key (193.19)

Information used to encrypt, decrypt, sign or verify other information.

Load Module (912^ 72Lir^

An Executable unit of code designed to be loaded into memory and executed, plus
associated data.

References: 3.

Machine Check Programming (900.155)

Programming that checks a host processing environment and derives information
from an Aspect of the host processing environment.

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Metadata Information (861.58)

Information about information. Metadata Infonnation may describe the attributes
o'f a rights management data structure as well as processes used to create and/or
use it.

Opening secure containers (683.2)

Providing Access to the contents of a Secure Container (e.g., by decrypting the
contents, if the contents are encrypted).

Operating enyironment (891.1)

Environment in which programs function.

References: 6.

Organize, organization, organization information (861.58)

In the context of organization of a Secure Container, these terms refer to contents
required or desired (including Information used to categorize these contents); or
Information used to specify a particular location for content. See Specific
Information for the definition of Information.

Portion (193.1, 193.11. 193.15, 193.19, 912.8, 912.35, 861.58)

Normal English: a part of a whole. The presence of a **portion" does not exclude
the presence of the whole (e.g., storage of an entire file necessarily includes
storage of any portions into which that file may be subdivided).

Reference: 4.

Prevents (721.34)

Normal English: keeps fix)m happening.

Reference: 4.

Processing Environment (912.35, 900.155, 721.34, 683.2)
Processing: manipulating data.
Refoence: 3.

Processing Environment: An Envirormient used for Processing. A Processing
Environment may be made up of one device or of more than one device link^
together.

Protected Processing Environment (683.2, 721.34)

-JProcessing Environment in which processing and/or data is at least in part
protected fi^om Tampering. The level of protection can vary, depending on the
threat.

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INTERTRUST'S PATENT LOCAL RULE 4-2 PRELIMINARY CLAIM CONSTRUCTIONS AND

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CASE NO. C 01 -1 640 SBA (MEJ). CONSOLIDATED WIIH C 02-0647 SBA .

Protecting (683.2)

Normal English: keeping from being damaged, attacked, stolen or injured.

Reference: 4.
Record (912.8, 912.35)

Collection of related items of data treated as a unit

References: 1.

Rendering (193.11, 193.15, 193,19)

Playing content through an audio output (e.g., speakers) or displaying content on
a video output (e.g., a screen).

Required (912.8, 861.58)

Normal English: a thing that is required is a thing that is obligatory or demanded.

Reference: 4.

Resource processed (891.1)

Resource: computer software, computer hardware, data, data structure or
information

Resomw processed: a Resource subject to being Processed, i.e., computer
software, data, data structure or information. See Processing Environment for a
definition of Processed.

Rule (861.58, 683.2)

See Control.

Secure (193.1, 193.11, 193.15, 912.35, 861.58, 891.1, 683.2, 721.34)

One or more mechanisms are employed to prevent, detect or discourage misuse of
or interference with information or processes. Such mechanisms may include
concealment. Tamper Resistance, Authentication and access control.
Concealment means that it is difficult to read information (for example, programs
may be encrypted). Tamper Resistance and Authentication are separately defined.
Access control means that Access to information or processes is limited on the
basis of authorization. Security is not absolute, but is designed to be sufficient for |
a particular purpose.

Reference: 6.

Secure Container (912.35, 861.58, 683.2)

Container: Digital File Containing linked and/or embedded items.
Reference: 3, 5.

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INTERTRUST'S PATENT LOCAL RULE 4-2 PRELIMINARY CLAIM CONSTRUCTIONS AND

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Secure Container: A Container that is Secure.
Secure container governed item (683.2)

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Information and/or programming Cont^ned in a Secure Container and Governed
by an associated Seciire Container Rule.

, Secure container rule (683 .2)

Rule that at least in part Governs a Secure Container Governed Item.
Secure Database (193.1, 193.11, 193.15)

Database: an organized collection of information.

References: 2.

Database that is Secure.
Secure Execution Space (721.34)

Execution Space that is Secure. '

Secure Memory/Memory (193.1, 193.11, 193.15)

Memory: a component of a computer or other device where information can be
stored and retrieved.

References: 3, 4.

Secure Memory: Memory in which Information is handled in a Secure manner.
See Specific Information for the definition of Information.

Secure Operating Environment (891.1)

An Operating Environment that is Secure.

Secqrely Applying (891 . 1)

Requiring that one or more Controls be complied with before content may be
used. The operation of requiring that the Control(s) be complied with must be
carried out in a Secure maimer.

Securely Assembling (912.8, 912.35)

Associating two or more Components together to form a Component Assembly,
in a Secure manner. See Component Assembly for the definition of Component

Securely Processing (891.1)

--4^r0eessing<)ccurring-in a Secure manner-^^ for the

definition of Processing.

INTERTRUST^S PATENT LOCAL RULE 4-2 PRELIMINARY CLAIM CONSTRUCTIONS AND

IDENTIFICATION OF EVIDENCE
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Securely Receiving (891.1)

Receiving has its normal English meaning: acquiring or getting.
Reference: 4.

Securely Receiving means receipt occurring in a Secure manner.
Security (721.1. 721.34)

Relating to being Secure.

Security Level/Level of Security (721.1; 721.34, 912.8)

Information that can be used to determine how Secure something is (e.g., a
device, Tamper Resistant Barrier or Execution Space). ,

Specified information/specific information (912.35, 861.58)

Normal English meaning:

Specific: explicitly set forth or definite.

Reference: 4.

To specify: to state explicitly or in detail.
Reference: 4.

Information: nonaccidental signal(s) or character(s) used in a computer or
communication system, hifoimation includes programs and also includes data.

Reference: 4.

Tamper/Tampering (683.2, 721.1, 721.34, 900.155)

To Use (including observe), alter or interfere with in an unauthorized manner.

Reference: 8.

Tamper Resistant/Tamper Resistance (721.1, 721.34, 900.155)

- Making Tampering more-diiSeultrand/or allowing-detection of Tampering.
Tamper Resistant Barrier (721.34)

Hardware or software that provides Tamper Resistance.
Tamper Resistant Software (900. 1 55)

Software designed to make it more difficult to Tamper with the software.

References: 7, 8.

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Use (912.8, 912.35. 861.58, 193.19,891.1,683.2,721.1)

Nonnal English: to put into service or apply for a purpose, to employ.
Reference: 4.

User controls (683.2)

I Hardware feature of an apparatus allowing a user to operate the apparatus (e.g., a
keyboard).

Validity (912.8)

A property of something (e.g., a Record) indicating that it is appropriate for use.

Virtual Distribution Environment (900.155)

This term is contained in the preamble' of the claim and should not be defined,
other than as requiring the individual claim elements.

- Wi&out-waiving its position that no separate definition is required, if required to

propose such a definition, IhterTrust proposes the following: secure, distributed
electronic transaction managemient and rights protection system for contit>lling
the distribution and/or other usage of electronically provided and/or stored
information.

Z!laim Phrases and Clauses

193.1

Receiving a digital file including music (193.1)

See Receiving a digital file (1 93. 1 1). This phrase is interpreted the same, except
that the file includes music.

Budget specifying the number of copies which can be made of said digital file (193.1)

Normal English, incorporating the separately defined terms: a Budget stating the
. number of Copies that Can Be made of the Digital File referred to earlier in the
claim.

Controlling the copies made of said digital file (193.1)

The nature of this operation is further defined in later claim elements. In context,
the Copy Control determines the conditions under which a Digital File may be
Copied and the Copied File stored on a second device.

Determining whether said digital file may be copied and stored on a second device
ased on at least said copy control (193.1)

Nonnal English, incorporating the separately defined terms: Using the Copy

ConfroHn-tleciding wheliierAe Digital File referred to earlier in the claim may be

Copied and the Copied Digital File stored on a second device.

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If said copy control allows at least a portion of said digital file to be copied and
stored on a second device ( 1 93 . 1 )

Nonnal English: a "yes" result is received in the step Determining whether said
digital file may be copied and stored on a second device based on at least said
copy control (1 93, 1 ).

Copying at least a portion of said digital file (193.1, 193.11, 193.15, 193.19)

Normal English, incorporating Ihe separately defined terms: Copying at least a
Portion of Ae Digits File referred to earlier in the claim.

Transferring at least a portion, of said digital file to a second device (193.1, 193.11,
193.15, 193.19)

Normal English, incoiporating the separately defined terms: at least a Portion of
the Copied Digital File is sent to a second device.

Storing said digital file (193.1, 193.11, 193.15)

Nonnal English: that which was transferred in the transferring step is stored.

193.11

Receiving a digital file (193.1, 193.11, 193.15, 193.19)

Normal English, incorporating the separately defined term: a Digital File is
obtained.

This phrase has been designated by Microsoft for interpretation under § 1 12(6).
InterTrust objects to such designation. Without waiver of such objection, as is
required by the Local Rules, InterTrust hereby identifies acts corresponding to
this term:

Claim elements specifying the act of receiving a file, or the act of establishing
communications, map onto a large number of structures and acts disclosed in the
specification, many of which constitute alternate embodiments. These include
obtaining a file or communicating through teleconmiunications links, satellite
transmissions, physical exchange of media, network transmissions, etc.

Determining whether^aid digital file may be copied and stored on a second device
based on said first control ( 1 93 . 1 1 )

Normal English, incorporating the separately defined terms: Using the Control to
decide whether the Digital File may be Copied and the Copied Digital File stored
on tihie second device.

Identifying said second device (193.1 1)

Nonnal EngUsh, incorporating the separately defined term: the second device is
-Identified. -

INTERTRUST*S PATENT LOCAL RULE 4-2 PRELIMINARY CLAIM CONSTRUCTIONS AND

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Whether said first control allows transfer of said copied file to said second device

(193.11)

hlonnal English, incorporating the separately defined tenns: Using the first
Control to decide if the Copied Digital File may be sent to the second device.

Said determination based at least in part on the features present at the device
(193.11)

Nonnal English: the decision referred to earlier in the claim is based at least in
part on characteristics of the second device.

If said first control allows at least a portion of said digital file to be copied and
stored on a second device (193.11)

See If said copy control allows at least a portion of said digital file to be.copied
and stored on a second device (193.1). "llie definitions are the same.

Copying at least a portion of said digital fHe (193.1, 193.11, 193. ISj 193.19)

See Copying at least a portion of said digital file (193.1). The definitions are the
same. '

Transferring at least a portion of said digital file to a second device (193.1, 193.1 1,
193.15, 193.19)

See Transferring at least a portion of said digital file to a second device (193.1).
The definitions are the same.

Storing said digital file (193.1, 193.11, 193.15)

See Storing said digital file (193.1). The definitions are the same.

193.15

Receiving a digital file (193.1, 193.11, 193.15, 193.19

. See Receiving a digital file (193.11). The definitions are the same.

An authentication step comprising (193.15)

Nonnal English, incorporating the separately defined term: a step mvolving
- Authentication. _ .. - - -

Accessing at least one identifier associated with a first device or with a user of said
first device (193.15)

Nonnal English, incorporating the separately defined terms: Accessing an
Identifier Associated With a device or a user of the device.

Determining=whether ^aidndentifler is-associated w^ith a device and/or user
authorized to store said digital file (193.15)

Nonnal English, incorporating the separately defined terms: deciding whether the
Identifier is Associated With a device or user with authority to store the Digital

INTERTRUST'S PATENT LOCAL RULE 4-2 PRELIMINARY CLAIM CONSTRUCTIONS AND

IDENTinCATION OF EVIDENCE
CASE NO. C 01 -1640 SBA (MEJ), CONSOLIDATED WITH C 02-0(547 SBA

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File.

Storing said digital file in a first secure memory of said first device, but only if said
device and/or user is so authorized, but not proceeding with said storing if said device
and/or user is not authorized (193.15)

Nonnal English, incoiporating the separately defined terms: this step proceeds or
does not proceed based on the prece(ting determining step. If this step proceeds,
the Digital File is stored in a Secure Memory of the first device.

Storing information associated with said digital file in a secure database stored on
said first device, said information including at least one control (193. 15)

Normal English, incoi]^orating the separately defined tenm: storing a Control
Associated With the Digital File in a Secure Database stored at the first device.

Determining whether said digital file may be copied and stored on 'a second device
l)ased on said at least one control (193.15)

See Determining whether said digital file may be copied and stored on a second
device based on at least said copy control (193.1). The definitions are the same.

If said at least one control allows at least a portion of said digital file to be copied
ind stored on a second device (193.15)

See If said first control allows at least a portion of said digital file to be copied
and stored on a second device (193.1 1). The definitions are the same.

Copying at least a portion of said digital file (193.1, 193.11, 193.15, 193.19)

See Copying at least a portion of said digital file (193.1). The definitions are the
same.

Transferring at least a portion of said digital file to a second device (193.1, 193.1 1,
93.15, 193.19)

See Transferring at least a portion of said digital file to a second device (193.1)
The definitions are the same.

Storing said digital file (193.1, 193.11, 193.15)

See Storing said digital file (193.1) The definitions are the same.

193.19

Receiving a digital file at a first device (193.19)

: . See Receiving a digital file (193.1 1). The definitions are the same.

Establishing communication between said first device and a clearinghouse located at
location remote from said first device (193.19)

Normal English, incorporating the separately defined term: sending information
fi-om the first device to the Clearinghouse and/or the first device receiving
infonnation &om the Clearinghouse.

INTERTRUST'S PATENT LOCAL RULE 4-2 PRELIMINARY CLAIM CONSTRUCTIONS AND

IDENTIFICATION OF EVIDENCE
CASE NO. C 01-1640 SBA (MEJ), CONSOLIDATED WITH C 02-0647 SBA

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Claim elements specifying the act of receiving a file, or the act of establishing
t communications, map onto a large niunber of structures and acts disclosed in the
specification, many of which constitute alternate embodiments. These include
obtaining a file or communicating througji telecommxmications links, satellite
transmissions, physical exchange of media, network transmissions, etc.

Using said authorization information to gain access to or make at least one use of
said first digital file (193.19)

Normal English, incorporating the separately defined terms: the Authorization
Information is used in a process of Accessing or Using the Digital File.

Including using said key to decrypt at least a portion of said first digital file (193.19)

Noraial English, incorporating the separately defined terms: this step fijrther
describes the *'using said authorization information" step, and requires thit the
earlier step include using the Key in a process of decrypting of at least a Portion
of the Digital File.

Receiving a first control from said clearinghouse at said first device (193.19)

Normal English, incorporating the separately defmed terms: the first device
acquires or gets a Control &om the Clearin^ouse.

Clam elements specifying the act of receiving a file, or the act of establishing
communications, map onto a large number of structures and acts disclosed in the
specification, many of which constitute alternate anbodiments. These include
obtaining a file or communicating through telecommimications links, satellite
transmissions, physical exchange of media, network transmissions, etc.

Storing said first digital file in a memory of said first device (193.19)

Normal English, incorporating the separately defined terms: the Digital File is
stored at the first device.

Using said first control to determine whether said first digital file may be copied and
itored on a second device (193.19)

See Determining whether said digital file may be copied and stored on a second

rr:.-=:======r-^vice^s^^ arc the same.

INTERTRUST'S PATENT LOCAL RULE 4-2 PRELIMINARY CLAIM CONSTRUCTIONS AND

IDENTIFICATION OF EVIDENCE
CASE NO. C 01-1640 SBA (MEJ), CONSOLIDATED WFTH C 02-0647 SBA

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If said first control allows at least a portion of said first digital file to be copied and
stored on a second device (193.19)

See If said first control allows at least a portion of said digital file to be copied
and stored on a second device (193.1 1). The definitions are the same.

Copying at least a portion of said first digital file (193.1, 193.11, 193.15, 193.19)

See Copying at least a portion of said digital file (193.1). The definitions are the
same.

Transferring at least a portion of said first digital file to a second device including a
memory and an audio and/or video output (193.19)

See Transferring at least a portion of said digital file to a second device (193.1),
The definitions are the same, except that the second device has an audio or video
output or both (e.g., a speaker, a screen, etc.).

Storing said first digital file portion (193.19)

Nonnal English, incorporating the separately defined terms: the Digital File
Portion is stored.

721.1

Digitally signing a first load module with a first digital signature designating the
first load module for use by a first device class (721.1)

Nonnal English, incorporating the separately defined terms: generating a Digital
Signature for the first Load Module, the Digital Signature Designating that the
first Load Module is for use by a first Device Class.

Digitally signing a second load module with a second digital signature different from
the first digital signature, the second digital signature designating the second load module
for use by a second device class having at least one of tamper resistance And security level
different from the at least one of tamper resistance and security level of the first device
class (721.1)

Normal English, incorporating the separately defined terms: generating a Digital
Signature for the second Load Module, the Digital Signature Designating that the
second Load Module is for use by a second Device Class. This element fiuther
requires that the second Device Class have a different Tamper Resistance or
Security Level than the first Device Class.

Distributing the first load module for use by at least one device in the first device
class (721.1)

Normal English, incorporating the separately defined terms: distributing the first
Load Module so that it can be used by a device in the first Device Class.

)istributing-the secondioad module for use by at least one device in the second
Jevice class (721.1)

Nonnal English, incorporating the separately defined tenns: distributing the
second Load Module so that it can be used by a device in the second Device

• 17

INTERTRUST'S PATENT LOCAL RULE 4-2 PRELIMINARY CLAIM CONSTRUCTIONS AND

IDENTinCATION OF EVIDENCE
CASE NO. C 01-1640 SBA (MEJ), CONSOLIDATED WITH C 02-0647 SBA

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Class.
721.34 ,

Arrangement within the first tamper resistant barrier (721.34)

Normal English, incorporating the separately defined terms: an Arrangement
I protected by the first Tamper Resistant Banier, the Arrangement operating as
described in the claim.

Prevents the first secure execution space from executing the same executable
accessed by a second secure execution space having a second tamper resistant barrier with
a second security level different from the first security level (721 .34)

Normal English, incorporating the separately defined terms: stops the first Secure
Execution Space firom executing (e.g. running a program) an Executable accessed
by a second Secure Execution space. The first and second Secure Execution
Spaces have Tamper Resistant Barriers that have different Secxuity Levels.

683,2

First secure container having been received from a second apparatus (683.2)

Normal English, incorporating the separately defined term: the Secure Container
was acquired fi-om a second apparatus. The second apparatus is different from the
first apparatus.

Aspect of access to or use of (683.2, 861 .58)

Normal English, incorporating the separately defined terms: Aspect and Access
to or Use of Those terms fully define the phrase, so that no other definition is
possible.

First secure container rule having been received from a third apparatus different
From said second apparatus (683.2)

Normal English, incoiporating the separately defined terms: this term requires
that the first Secure Container Rule was acquired from a third apparatus. The
third apparatus is different from the second apparatus or the first apparatus.

Hardware or software used for receiving and opening secure containers (683.2)

Normal English, incorporating the separately defined terms: computer hardware
or programming that acquires Secure Containers and Opens the Secure Containers
(see Opening Secure Containers).

This phrase has been designated by Microsoft for interpretation under § 1 12(6).

--InterTmst objects to such designation. Without waiver of such objection, as is

required by the Local Rules, InterTrust hereby identifies structures corresponding
to this term:

Structures corresponding to this element include Processor(s) 4126 and/or
software running on Processors 4126 (including Protected Processing
Environment 650) and Communications Device 666.

INTERTRUST'S PATENT LOCAL RULE 4-2 PRELIMINARY CLAIM CONSTRUCTIONS AND

IDENTinCATION OF EVIDENCE
CASE NO C 01-1640 SBA (MEJ), CONSOLDDATED WITH C 02-0647 SBA

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Said secure containers each including the capacity to contain a governed item, a
secure container rule being associated with each of said secure containers (683.2)

Nonnal English, incoiporating the separately defined tenns: the Secure
Containers previously referred to are each able to contain a Governed Item, and
each Secure Container has an associated Secure Container Rule.

Protected processing environment at least in part protecting information contained
in said protected processing environment from tampering by a user of said first apparatus

(6832)

Normal English, incorporating the separately defined tenns: a Protected
Processing Environment contains Information. The Protected Processing
Environment protects the contained Information fi-om Tampering by a user. The
protection may be partial rather than complete. See Specific Information for the
definition of Information. ,

Hardware or software used for applying said first secure container rule and a
second secure container rule in combination to at least in part govern at least one aspect of
access to or use of a governed item contained in a secure container

(683.2)

Nonnal English, incorporating the separately defined terms: computer hardware
or progranraiing that uses the first Secure Container Rule and a second Secure
Container Rule. These rules are Apphed in Combination to Govern a Governed
Item contained in a Secure Container.

This phrase has been designated by Microsoft for interpretation under § 1 12(6).
InterTrust objects to such designatioiL Without waiver of such objection, as is
required by the Local Rules, InterTrust hereby identifies structures corresponding
to this term:

Structures corresponding to this element include Processor(s) 4126 and/or software
running on Processors 4126 (including Protected Processing Environment 650).

Hardware or software used for transmission of secure containiers to other
apparatuses or for receipt of secure containers from other apparatuses: (683.2)

Normal English, incorporating the separately defined terms: computer hardware
or programming that sends Secure Containers to other apparatuses (e.g., other
computers) or acqtiires Secure Containers &om other apparatuses.

-This phrase has-been designated by Microsoft for interpretation under § 1 12(6).
InterTrust objects to such designation. Without waiver of such objection, as is
required by the Local Rules, InterTrust herfeby-identifies structures corresponding
to this term:

Structures corresponding to this element include Processor(s) 4126 and/or
software running on Processors 4126 (including Protected Processing
Enviroimient 650) and Communications Device 666,

INTERTRUST'S PATENT LOCAL RULE 4-2 PRELIMINARY CLAIM CONSTRUCTIONS AND

IDENTIFICATION OF EVIDENCE
CASE NO. C 01-1640 SBA (MEJ), CONSOLIDATED WITH C 02-0647 SBA

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86L58

Creating a first secure container (861 .58)

This term is contained in the preamble of the claim and should not be defined,
other than as requiring the individual claim elements.

I Without waiving its position that no separate definition is required, if required to
propose such a definition, InterTrust proposes the following:

Normal English, incorporating the separately defined terms: Creating a Secure
Container.

Including or addressing . . . orgianization information . . . desired organization . . .
and metadata information at least in part specifying at least one step required or desiried in
creation of said first secure container (861 .58) ,

This is not a claim term, but is instead a series of Augments. Interpretation of this
phrase is therefore impossible, since the phrase does not appear in the claim.

At least in part determine specific information required to be included in said first
secure container contents (861.58) '

Normal English, incorporating the separately defined terms: at least partially
Identify Specific Information that must be included in the first Secure Container.

Rule designed to control at least one aspect of access to or use of at least a portion of
said first secure container contents (861 .58)

Normal English, incorporating the separately defined terms: a Rule that Governs
at least some of the contents of the Secure Container.

900.155

First host processing environment comprising (900. 155)

A Host Processing Enviroimient including (but not limited to), the listed elements.

Said mass storage storing tamper resistant software (900.155)

Normal English, incorporating the separately defined terms: a mass storage
device (e.g., a hard drive) that stores the Tamper Resistant Software.

Designed to be loaded into said main memory and executed by said central
processing unit (900.155)

Normal English, incorporating the separately defined term: software designed to
be loaded into the Memory of a computer and executed by the computer's
processor.

Said tamper resistant software comprising: one or more storage locations storing
aid information (900. 155)

This is not a claim term, but is instead two sentence fragments. Interpretation of
this phrase is therefore impossible, since the phrase does not appear in the claim.

20 '

INTERTRUST'S PATENT LOCAL RULE 4-2 PRELIMfl^ARY CLAIM CONSTRUCHONS AND

IDENTIFICATION OF EVIDENCE
CASE NO. C 01-1640 SBA (MEJ), CONSOLIDATED WITH C 02-0647 SBA

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Derives information from one or more aspects of said host processing environment

(900.155)

Normal English, incorporating the separately defined terms: Derives (including
creates) Information based on at least one Aspect of the previously referred to
Host Processing Environment See Specific Information for the definition of
Information.

One or more storage locations storing said information (900.155)

Normal English, incorporating the separately defined terms: Infonnation relating
to one or more Aspects of the Host Processing Environment is stored in one or
more locations. See Specific Information for the definition of Information.

Information previously stored in said one or more storage location^ (900.155)

See Infonnation Previously Stored. The definitions are the same.

Generates an indication based ^n the result of said comparison (900.155)

Normal English: a particular indication is created (e.g., a flag is set or a value is
returned) if the comparison has one result, but not if the comparison has a
different result

Programming >vhich takes one or more actions based on the state of said indication

(900.155)

Normal English: software that takes an action if the indication has one state, but
does not take that action if the indication does not have that state

At least temporarily halting further processing (900.155)

Normal English, incorporating the separately defined terms: Halting Processing,
the Halt being temporary or permanent. See Secxirely Processing for the
"~ defimtioiToTProc"^^^^ ~ '

912.8

Identifying at least one aspect of an execution space (912.8)

Normal English, incorporating the separately defined terms: Identifying an
-Aspect (e;g^^^e6urityiev^I)^of-an Execution Space -

Required for use and/or execution of the load module (912.8)

Normal English, incorporating the separately defined terms: the Identified Aspect
is needed in order for tiie Load Module to execute or otherwise be used.

Said execution space identifier provides the capability for distinguishing between
execution spaces providing a higher level of security and execution spaces providing a
ower level of secu rity (9 12.8)

Normal English, incorporating the separately defined terms: the Execution Space
Identifier makes it possible to distinguish higher Security Level Execution Spaces

21 [

INTERTRUST'S PATENT LOCAL RULE 4-2 PRELIMINARY CLAIM CONSTRUCTIONS AND

IDENTIFICATION OF EVIDENCE
CASE NO. C 01-1640 SBA (MEJ), CONSOLD^ATED WITH C 02-0647 SBA

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from lower Security level Execution Spaces.

Checking said record for validity prior to performing said executing step (912.8)

Nomial English, incorporating the separately defined terms: determining whether
the Record has Validity, the determination occurring before the execution step.

912.35

Received in a secure container (912.35)

Normal English, incorporating the separately defined terms: the Record is
Contained in a Secure Container when acquired.
Said component assembly allowing access to or use of specified information; (912.35)

Normal English, incorporating the separately defined terms: the Component
Assembly ^lows Access to Specified Information.

Said first component assembly specified by said first record (912.35)

This term is a label referring back to the first component assembly identified
earlier in the claim. It has no other meaning. '

891.1

Resource processed in a secure operating environment at a first appliance (891.1)

This term is contained in the preamble of the claim and should not be defined,
other than as requiring the individual claim elements.

Without waiving its position that no separate definition is required, if required to
propose such a definition, InterTrust proposes the following:

Normal English, incorporating the separately defined terms: a Resource
Processed in a Seciu*e Operating Environment, the Secure Operating Environment
being present at an appliance (e.g., a computer).

Securely receiving a first entity's control at said first appliance (891 .1)

Normal English, incorporating the separately defined terms: an Entity's Control
is Securely Received at the first appliance.

This phrase has been designated by Microsoft for interpretation imder § 1 12(6).
InterTrust objects to such designation. Without waiver of such objection, as is
required by the Local Rules, InterTrust hereby identifies acts correspondkig to
this temi:

Claim elements specifying the act of receiving a file, or the act of establishing
communications, map onto a large number of structures and acts disclosol in the
specification, many of which constitute alternate embodiments. These include
-^==^^-=^^taining^^^ satelUte
transmissions, physical exchange of media, network transmissions, etc.

Claim elements specifying the act of "securely receiving" map onto embodiments
of "receiving" (see above) in which the received element (e.g., a control) is

, 22

INTERTRUST'S PATENT LOCAL RULE 4-2 PRELIMINARY CLAIM CONSTRUCTIONS AND

IDENTIFICATION OF EVIDENCE
CASE NO. C 01-1640 SBA (MEJ), CONSOLEDATED WITH C 02-0647 SBA

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received in a manner providing security. The specification describes a number of
security-related mechanisms for use in communications, including encryption,
authentication and tamper-resistance. Such mechanisms constitute alternate
embodiments.

Securely receiving a second entity's control at said first appliance (891 .1)

See Securely receiving a first entity's control at said first appliance. The
definitions are the same, except that the second entity and the first entity are
different.

Securely processing a data item at said first appliance, using at least one resource

891.1)

Normal English, incorporating the separately defined terms: a Resource is used
in Securely Processing a Data Item, die processing occurring at the first appliance

Securely applying, at said first appliance through use of said at least one resource
aid first entity's control and said second entity's control to govern use of said data item

891.1) ^

Normal English, incorporating the separately defined terms: the first Entity's
Control and the second Entity's Control are Securely Applied to* Govern Use of
the Data Item, the act of Securely Applying involving use of the Resource.

L Designation of Evidence under 4-2(b).

InterTmst hereby designates the following evidence under Patent Local Rule 4-2 (b),

^thout admission that this constitutes "extrinsic evidence" as defined by the Federal Circuit or

ither relevailt legal authority.

Testimony: Dr. Michael Reiter will testify as to the understanding of the claim terms by
omeone of ordinary skill in the art.

. Personal Computer Dictionary (1995) ISBN 0-89218-223-7

Access

Copy

Record

. Computer Professional-si5ictionary,"A-Hen-Wyatt<<)s 1990). ISBNO-

7-881705-6

Access
Data Item

Secure database - ■ ■ ~ ™

Microsoft Computer Dictionary, Third Edition (1997) ISBN 1-57231-743-4.

Addressing
Copy
Database
Data Item

INTERTRUST'S PATENT LOCAL RULE 4-2 PRELIMINARY CLAIM CONSTRUCTIONS AND

IDENTIFICATION OF EVIDENCE
CASE NO. C 01-1640 SBA (MEJ), CONSOLIDATED WITH C 02-0647 SBA

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Environment
Executable File

Load module
Memory
Processing
Secure container

4. The' American Heritage Dictionary, 3d ed. (Houghton Mifflin,. 1992) ISBN 0-395-44895-6

Passim

5. U.S. Patent No. 5,634,019, Col 7:42-44.

Secure container

6. Webster's New World Dictionary of Computer Terms, 6th Editioii (1997) ISBN 0^2-
861890-4

Access
Copy

Environment

Operating environment '
Secure

7. U.S. Patent No. 5,991,399.

Tamper resistant software

i. "A Tentative Approach to Constructing Tamper-Resistant Software" by Masahiro
MAMBO.VTakanori MU RAYAMAT. Fifi OKAMOTO, School of Information Science,
Japan Advanced Institute of Science and Technologv,l-l Asahidai Tatsunokuchi Nomi,
[shikawa/ 923-121 1 Japan, published in English 1998.

Tamper

Tamper resistant software

Dated: December 2002

KEKER & VAN NEST, LLP

L. JAY KUC
Attorneys for Plaintiff and Counter
Defendant

INTERTRUST TECffi^OLOGIES
CORPORATION

INTERTRUST'S PATENT LOCAL RULE 4-2 PRELIMINARY CLAIM CONSTRUCTIONS AND

IDENTIFICATION OF EVIDENCE
CASE NO. C 01-1 640 SBA (MEJ), CONSOLIDATED WITH C 02-0647 SBA

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PROOF OF SERVICE

I am employed in the City and County of San Francisco, State of California in the office of a
member of the bar of this court at whose direction the following service was made. I am over the
age of eighteen years and not a party to the within action. My business address is Keker & Van
Nest, LLP, 71 0 Sansome Street, San Francisco, CaUfomia 9411 1.

On December 20, 2002, 1 served the following document(s):

INTERTRUST'S PATENT LOCAL RULE 4-2 PRELIMINARY CLAIM
CONSTRUCTIONS AND IDENTIFICATION OF EVIDENCE

0 by PDF TRANSMISSION AND UNITED STATES MAIL, by transnritting via PDF on this date. A true
and correct copy of same was placed in a sealed envelope addressed as shown below. I am readOy femiliar
with the practice of Keker & Van Nest, LLP for collection and processing of corresp6ndence for mailing.
According to that practice, items are deposited with the United States Postal Service at San Francisco,
California on that same day with postage thereon fiilly prepaid. I am awate that, on motion of the party
served, service is presumed invalid if the postal cancellation date or the postage meter date is more than one
day after the date of deposit for mailing stated in this affidavit

Eric L Wesenberg, Esq. John D. Vandenberg, Esq.

Mark R. Weinstein, Esq. James E. Geringer, Esq.

Orrick Herrington & Sutcliffe Kristin L. Cleveland, Esq.

1 000 Marsh Road Klarquist Sparkman Campbell, et al.

Menlo Park, CA 94025 One World Trade Center, Suite 1600

Telephone: 650/614-7400 121 S.W. Sahnon Street

Facsimile: 650/614-7401 Portland OR 97204

Telephone: 503/226-7391
Facsimile: 503/228-9446

I declare imder penalty of perjury under the laws of the State of California that the above is true
and correct.

PROOF OF SERVICE
CASE NO. COl-1640 SBA (MED CONSOLIDATED WITH C 02-0647 SBA

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